Rivernorth Capital Management

Rivernorth Capital Management as of Sept. 30, 2017

Portfolio Holdings for Rivernorth Capital Management

Rivernorth Capital Management holds 129 positions in its portfolio as reported in the September 2017 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Western Asset Emerging Mrkts Dbt Fnd (EMD) 5.4 $67M 4.2M 15.71
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 4.2 $52M 4.6M 11.24
Liberty All-Star Equity Fund (USA) 4.0 $49M 8.0M 6.05
Nuveen Insured Tax-Free Adv Munici (NEA) 3.8 $47M 3.4M 13.84
Western Asst High Incm Opprtnty Fnd (HIO) 3.4 $42M 8.1M 5.12
Eaton Vance Limited Duration Income Fund (EVV) 3.3 $40M 2.9M 14.06
BlackRock Credit All Inc Trust IV (BTZ) 3.2 $39M 2.9M 13.64
BlackRock Corporate High Yield Fund VI (HYT) 2.9 $36M 3.1M 11.28
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.6 $32M 3.8M 8.47
Ares Capital Corporation (ARCC) 2.2 $28M 1.7M 16.41
Nuveen Div. Advantage Muni. Fund (NAD) 2.2 $28M 1.9M 14.16
Clough Global Equity Fund closed-end fund (GLQ) 2.1 $26M 2.0M 13.33
LEGG MASON BW GLOBAL Income 2.1 $25M 1.9M 13.44
Prudential Gl Sh Dur Hi Yld 2.0 $25M 1.7M 14.93
Templeton Global Income Fund (SABA) 2.0 $24M 3.6M 6.75
Invesco Van Kampen Senior Income Trust (VVR) 2.0 $24M 5.3M 4.49
Brookfield Real Assets Incom shs ben int (RA) 1.9 $24M 1.0M 23.84
Invesco Van Kampen Dyn Cr Opp Fund 1.9 $23M 2.0M 11.95
Western Asset Global High Income Fnd (EHI) 1.9 $23M 2.3M 10.30
Cornerstone Strategic Value (CLM) 1.8 $22M 1.5M 14.85
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 1.8 $21M 1.9M 11.28
Blackrock Debt Strat (DSU) 1.7 $20M 1.7M 11.68
Voya Prime Rate Trust sh ben int 1.5 $19M 3.6M 5.20
Templeton Emerging Markets Income Fund (TEI) 1.5 $18M 1.6M 11.55
Alpine Total Dyn Fd New cefs 1.4 $18M 2.0M 9.06
Adams Express Company (ADX) 1.2 $15M 966k 15.30
Royce Value Trust (RVT) 1.1 $14M 855k 15.83
Vanguard Emerging Markets ETF (VWO) 1.0 $13M 292k 43.61
Morgan Stanley Emerging Markets Domestic (EDD) 1.0 $13M 1.6M 8.00
Western Asset Hgh Yld Dfnd (HYI) 1.0 $13M 815k 15.54
Ares Dynamic Cr Allocation (ARDC) 0.9 $12M 712k 16.42
Blackstone Gso Strategic (BGB) 0.9 $12M 719k 16.06
Nexpoint Credit Strategies Fund (NXDT) 0.9 $11M 476k 23.11
Blackrock Multi-sector Incom other (BIT) 0.9 $11M 582k 18.68
PowerShares FTSE RAFI US 1000 0.9 $11M 101k 107.68
Nuveen Mtg opportunity term (JLS) 0.9 $11M 424k 25.44
Managed Duration Invtmt Grd Mun Fund 0.9 $11M 769k 13.72
Sprott Focus Tr (FUND) 0.8 $10M 1.3M 7.75
Central Fd Cda Ltd cl a 0.8 $9.3M 713k 13.07
Tri-Continental Corporation (TY) 0.8 $9.2M 360k 25.66
Allianzgi Nfj Divid Int Prem S cefs 0.7 $8.6M 645k 13.38
General American Investors (GAM) 0.7 $8.4M 233k 36.10
Delaware Enhanced Glbl. Div. & Inc. Fund 0.7 $8.4M 708k 11.84
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.7 $8.1M 702k 11.50
Advent Claymore Convertible Sec & Inc (AVK) 0.7 $8.0M 490k 16.23
Nuveen Global High (JGH) 0.7 $8.0M 457k 17.43
Garrison Capital 0.6 $7.7M 910k 8.42
Nuveen Mortgage opportunity trm fd2 0.6 $7.6M 310k 24.66
Royce Micro Capital Trust (RMT) 0.6 $7.1M 749k 9.42
MFS Charter Income Trust (MCR) 0.6 $6.8M 785k 8.69
Deutsche High Income Opport 0.6 $6.8M 453k 15.06
Eaton Vance Senior Income Trust (EVF) 0.6 $6.8M 1.0M 6.62
PowerShares FTSE RAFI Emerging MarketETF 0.5 $6.6M 308k 21.31
Morgan Stanley Emerging Markets Debt (MSD) 0.5 $6.5M 645k 10.09
Lehman Brothers First Trust IOF (NHS) 0.5 $6.3M 521k 12.17
Virtus Total Return Fund cf 0.5 $6.4M 493k 12.98
MFS Multimarket Income Trust (MMT) 0.5 $6.1M 981k 6.25
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.5 $6.1M 432k 14.15
Allianzgi Equity & Conv In 0.5 $6.1M 297k 20.70
Andina Acquisition Corp Ii 0.5 $6.1M 598k 10.16
Invesco Van Kampen High Inc Trust II (VLT) 0.5 $5.7M 378k 15.14
Vanguard Europe Pacific ETF (VEA) 0.5 $5.5M 126k 43.36
Wells Fargo Adv Inc Opport Fund (EAD) 0.4 $5.3M 615k 8.67
Deutsche Multi-mkt Income Tr Shs cef 0.4 $5.4M 607k 8.93
Special Opp 3.5% Pfd Conv 0.4 $4.9M 191k 25.59
Boulder Growth & Income Fund (STEW) 0.4 $4.8M 470k 10.27
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 0.4 $4.7M 340k 13.93
BlackRock Global Opportunities Equity Tr (BOE) 0.4 $4.6M 343k 13.52
Prudential Sht Duration Hg Y 0.4 $4.4M 287k 15.25
Nuveen Int Dur Qual Mun Trm 0.4 $4.5M 337k 13.25
Morgan Stanley income sec 0.3 $4.2M 230k 18.30
BlackRock Ltd. Duration Income Trust (BLW) 0.3 $3.7M 227k 16.15
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.3 $3.5M 564k 6.24
Great Elm Cap 0.3 $3.6M 142k 25.08
Pensare Acquisition Corp unit 07/27/2022 0.3 $3.6M 350k 10.25
Vaneck Vectors Gold Miners mutual (GDX) 0.3 $3.1M 136k 23.05
Advent/Claymore Enhanced Growth & Income 0.2 $3.0M 344k 8.64
Oha Investment 0.2 $2.8M 2.2M 1.25
Fifth Str Asset Mgmt 0.2 $2.8M 726k 3.90
Modern Media Acquisition unit 99/99/9999 0.2 $2.4M 230k 10.47
Kbl Merger Corp Iv unit 01/15/2024 0.2 $2.3M 230k 10.13
Hennessy Cap Acquston Corp I unit 06/15/2024 0.2 $2.3M 225k 10.35
Lazard Global Total Return & Income Fund (LGI) 0.2 $2.2M 130k 16.83
Lazard World Dividend & Income Fund 0.2 $2.2M 198k 11.34
National Energy Services Reu (NESR) 0.2 $2.2M 230k 9.61
Stellar Acquisition Iii 0.2 $2.0M 200k 10.15
Clough Global Allocation Fun (GLV) 0.2 $1.9M 137k 13.91
Forum Merger Corp - A 0.2 $1.9M 200k 9.71
Madison Covered Call Eq Strat (MCN) 0.1 $1.9M 241k 7.81
LMP Capital and Income Fund (SCD) 0.1 $1.8M 122k 14.45
Osprey Energy Acquisition Co unit 07/21/2022 0.1 $1.7M 175k 9.95
Madison Strategic Sector Premium Fund 0.1 $1.6M 138k 11.89
I Am Cap Acquisition Co unit 08/15/2022 0.1 $1.5M 150k 10.25
Atlantic Acquisition Corp unit 02/08/2019 0.1 $1.5M 150k 10.30
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.1 $1.5M 111k 13.40
Special Opportunities Fund (SPE) 0.1 $1.5M 94k 15.79
Hunter Maritime Acquisition cl a 0.1 $1.5M 150k 9.76
Tcg Bdc (CGBD) 0.1 $1.4M 75k 18.75
Matlin & Partners Acquisitio cl a 0.1 $1.5M 150k 9.71
Industrea Acquisition Corp unit 07/21/2024 0.1 $1.5M 150k 10.11
Blackrock Res & Commodities Strategy Tr (BCX) 0.1 $1.3M 148k 8.97
Capitala Fin Corp 5.75% nt cv 2 0.1 $1.3M 52k 24.98
Fintech Acquisition Corp Ii 0.1 $1.2M 125k 9.80
Constellation Alpha Capital unit 99/99/9999 0.1 $1.2M 120k 10.20
Bison Cap Acquisition Corp unit 99/99/9999t 0.1 $1.3M 125k 10.26
Draper Oakwood Technology unit 09/30/2024 0.1 $1.2M 120k 10.20
Aberdn Emring Mkts Telecomtions 0.1 $1.0M 75k 13.97
Blackstone Gso Lng Shrt Cr I (BGX) 0.1 $1.2M 72k 16.14
Aberdeen Gtr China 0.1 $1.2M 98k 11.73
Cornerstone Total Rtrn Fd In (CRF) 0.1 $1.1M 75k 14.71
MVC Capital 0.1 $974k 97k 10.01
Eaton Vance Short Duration Diversified I (EVG) 0.1 $934k 66k 14.24
First Trust/Aberdeen Global Opportunity (FAM) 0.1 $922k 78k 11.75
Aberdeen Latin Amer Eqty 0.1 $832k 30k 27.38
First Trust Strategic 0.1 $797k 59k 13.50
Gty Technology Holdings Inc cl a 0.1 $798k 80k 9.97
MFS Investment Grade Municipal Trust (CXH) 0.1 $725k 73k 9.98
Aberdeen Indonesia Fund 0.1 $754k 97k 7.76
Western Asset Global Cp Defi (GDO) 0.0 $371k 20k 18.32
American Cap Sr Floating 0.0 $189k 17k 11.37
Stellar Acquisition Iii Inc w exp 03/22/202 0.0 $74k 200k 0.37
Fintech Acquisition Corp Ii *w exp 01/19/202 0.0 $78k 63k 1.25
Rosehill Resources Inc - A warrant 0.0 $119k 120k 0.99
National Energy Services Reu *w exp 05/05/202 0.0 $104k 230k 0.45
Gty Technology Holdings Inc w exp 99/99/999 0.0 $31k 27k 1.16
Hunter Maritime Acquisition *w exp 99/99/999 0.0 $44k 75k 0.59
Forum Merger Corp *w exp 06/01/202 0.0 $31k 100k 0.31
Forum Merger Corp right 06/01/2019 0.0 $54k 200k 0.27
Matlin & Partners Acquisitio *w exp 03/15/202 0.0 $53k 150k 0.35